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Advertising Compliance Officer

Clear StreetNew York, NY
On-site Full-time $80K/yr - $80K/yr

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Experience Level

Experience

Qualifications

Key Responsibilities: Assess and scrutinize marketing and advertising materials across various platforms, including print, digital, television, social media, and partnerships, to ensure compliance with FINRA, SEC, and relevant industry standards. Deliver practical, business-oriented guidance that harmonizes regulatory obligations with commercial goals. Provide continuous support and direction to Marketing teams and business stakeholders on compliance issues, recommending necessary adjustments or enhancements. Conduct training sessions for marketing teams and partners to ensure adherence to compliance standards and best practices. Review testimonials, endorsements, and promotional offers to verify compliance with FINRA and SEC guidelines. Identify filing requirements, prepare submissions, and respond to inquiries from FINRA’s Advertising Regulation Department. Stay updated on changes in relevant laws, regulations, and industry best practices to ensure ongoing compliance and provide informed counsel to the organization.

About the job

About Clear Street:

Clear Street is at the forefront of modernizing the brokerage ecosystem. Established in 2018, we are a diversified financial services firm that is transforming the outdated infrastructure prevalent across capital markets.

We have developed a fully cloud-native clearing and custody system tailored for the complexities of today’s global marketplace. Our proprietary prime brokerage platform significantly enhances market efficiency while focusing on reducing risks, redundancies, and costs for our clients. Our mission is to create a unified platform that serves as a single source of truth for every asset class, in every country, and in any currency.

By merging exceptional product and engineering talent with experienced finance professionals, we are building the foundational elements necessary to thrive in today’s fast-paced market environment.

The Role:

We are looking for a meticulous and experienced Advertising Compliance Officer to join our compliance team and bolster our rapidly expanding active trading division. This crucial role involves ensuring that all marketing and advertising materials and activities meet regulatory standards, industry requirements, and internal policies. The ideal candidate will possess a robust understanding of broker-dealer advertising regulations and exhibit excellent communication skills. Your analytical insights will play a key role in mitigating risks and maintaining the integrity of our business practices.

About Clear Street

Clear Street is a pioneering financial services firm dedicated to eliminating the inefficiencies of legacy systems in capital markets. With our innovative cloud-native technologies and a commitment to regulatory compliance, we are reshaping the brokerage landscape.

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